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Showing 2361 to 2370 of 7095 search results for final notice.
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Final Notice 2018: Jonathan Mathew [pdf]
This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition. -
Market abuse
Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place. -
Final Notice 2023: Integrity Payment UK Ltd [pdf]
This final notice (Integrity Payment UK Ltd) refers to a failure to satisfy the Effective Supervision Threshold Condition (COND) due to the Authority having no means by which it can communicate with the firm. Therefore, we imposed a cancellation. -
Final Notice 2019: Adam Struzynski [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2019: Jeffrey Hawkins [pdf]
This final notice (Jeffrey Hawkins) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final Notice 2018: William Dighton [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation -
FCA Final Notice 2014: Managed Debt Services Ltd [pdf]
This final notice refers to breaches of TC and CONC related to threshold conditions in the consumer credit sector. We imposed a refusal. -
FCA Final Notice 2013: Mark Richard Faulkner [pdf]
This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and a cancellation. -
FCA Final Notice 2013: JLT Specialty Limited [pdf]
This final notice refers to breaches of PRIN 3 related to financial crime in the general insurance and protection sector. We imposed a fine. -
Final Notice 2018: 1Stdent Limited [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.